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Principles for Businesses

The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system. Dual-regulated firms will need to be mindful of the Prudential Regulation Authority's Fundamental Rules.

Whether a firm is solo or dual-regulated, the FCA's Principles for Businesses encompass the main dimensions of the conduct standards set out for all firms.

Our Principles for Businesses Course explains the FCA's Principles for Businesses that apply to financial services firms in the UK.

20 Minutes
For all staff
UK
FCA Compliance Library

What you’ll learn in
this course

Recognise the purpose of the Principles for Businesses
Know the Principles for Businesses and how they apply to different types of clients
Appreciate the consequences of breaching the Principles

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SM&CR in Practice

In-depth 75 Minutes SMCR For managers

The Senior Managers and Certification Regime (SM&CR) is designed to improve accountability, governance and culture in financial services firms.

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CeMAP Competency Refresher Training

In-depth 65 Minutes For all staff

The Certificate in Mortgage Advice & Practice (CeMAP) is a UK specific qualification issued by the London Institute of Banking & Finance (LIBF).

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UK Money Markets Code Online Training Course

In-depth 60 Minutes For all staff

The UK Money Markets Code provides a set of principles to promote the integrity and effective functioning of the UK money markets.

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Responsible Lending and Affordability Training Course

In-depth 60 Minutes For all staff

Responsible Lending and Affordability are non-negotiable principles that underpin the UK's mortgage market reform.

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FX Global Code Compliance Training Course

In-depth 60 Minutes For all staff

The FX Global Code is a set of global principles of good practice in the foreign exchange market.

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Conduct Rules for Senior Managers at FCA Solo Firms

In-depth 60 Minutes SMCR For managers

Under the Senior Managers Regime, all senior managers must comply with the FCA's six Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

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Operational Resilience

In-depth 55 Minutes DORA For all staff

The FCA has made operational resilience a requirement for banks, building societies, PRA-designated investment firms, enhanced scope firms and other financial institutions.

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Conduct Risk

In-depth 50 Minutes For all staff

The FCA focuses on good customer outcomes and how a firm achieves this through staff conduct at all levels of the business.

CASS 7 and 7A Client Money Rules and Client Money Distribution Training Course

In-depth 50 Minutes For all staff

The rules and guidance in CASS aim to achieve the FCA's objective of ensuring that consumers are adequately protected.

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Introduction to UK Financial Regulation

In-depth 45 Minutes For all staff

Educate your employees on how the UK's financial services industry is regulated.

Prudential Regulation Training Course for Financial Services Staff

In-depth 45 Minutes For all staff

Prudential Regulation applies to firms in financial services.

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MCOB - Advertising and Selling Compliance Training Course

In-depth 45 Minutes For all staff

The Mortgage Conduct of Business (MCOB) Advising and Selling standards apply to businesses that advise on or arrange mortgage contracts, equity release transactions, home purchase plans or sale and rent back agreements.

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Benchmarks Regulation Training Course

In-depth 45 Minutes For all staff

The FCA defines a Benchmark as an index used to determine the value of or the amount payable under a financial instrument (or contract).

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Information Barriers

In-depth 45 Minutes Financial Crime For all staff

The flow of information in financial firms needs monitoring between businesses involved with private and public side activities.

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Treating Customers Fairly

In-depth 45 Minutes For all staff

Treating Customers Fairly (TCF) applies to firms in the Insurance industry.

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Insurance Distribution Directive (IDD)

In-depth 45 Minutes For all staff

The Insurance Distribution Directive (IDD) replaced the Insurance Mediation Directive (IMD) in February 2018.

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Complaints Handling E-learning for the Insurance Sector

In-depth 45 Minutes For all staff

The number of complaints submitted in the Insurance sector has increased year on year in recent times in the UK.

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Introduction to UK Financial Regulation

In-depth 45 Minutes For all staff

NEDs are an important part of a firm's governance and provide independence and oversight.

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Safeguarding the Vulnerable

In-depth 45 Minutes ESG For all staff

Certain individuals may be unable to care for or protect themselves due to a mental illness or disability, age or other factors.

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Embargoes and Sanctions

In-depth 45 Minutes Financial Crime For all staff

Embargoes and sanctions prohibit all transactions with an entity, trading of certain commodities, or supplying critical goods.

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Healthy Working

In-depth 45 Minutes Health & Safety For all staff

There are risks to your physical and mental health and wellbeing wherever you work.

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Financial Sanctions Compliance E-Learning Course

In-depth 45 Minutes Financial Crime For all staff

Financial and economic sanctions are binding prohibitions applied by governments to prevent business transactions with certain designated persons.

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Working Safely Compliance Training Course

In-depth 45 Minutes Health & Safety For all staff

Awareness of health and safety procedures can prevent injuries and save lives.

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Market Abuse Compliance E-Learning Course

In-depth 45 Minutes For all staff

The laws and regulations prohibiting market abuse apply to all employees, not only those engaged in front-office, client dealing or trading roles.

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Data Protection Compliance Training Course

In-depth 45 Minutes Data Protection (GDPR) For all staff

Data protection relates to how all organisations collect, use, and store personal and sensitive data.

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Pensions Ombudsman Complaints Handling

In-depth 40 Minutes For all staff

In the UK, the Pensions Ombudsman handles pension complaints and disputes at no cost to members of occupational and personal pension schemes.

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MCOB - Equity Release

In-depth 40 Minutes For all staff

The Mortgage Conduct of Business (MCOB) for Equity Release applies to businesses that make recommendations or provide personalised information to customers on equity release products.

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Complaints Handling for the Mortgage Market Course

In-depth 40 Minutes For all staff

The FCA outlines complaints handling rules in the Dispute Resolution Sourcebook (DISP).

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Markets in Financial Instruments Directive II (MiFID II)

In-depth 40 Minutes Financial Crime For all staff

The Markets in Financial Instruments Directive (MiFID) originally aimed to increase competition and integration in markets for financial instruments.

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CONC - Consumer Credit Regulations

In-depth 40 Minutes For all staff

The FCA's Consumer Credit sourcebook (CONC) applies to all firms engaged in credit-related regulatory activities in the UK.

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Ethical Standards in Insurance and Investment Compliance E-Learning

In-depth 40 Minutes Financial Crime For all staff

The FCA's ethical standards apply to individuals in finance and investment.

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MCOB - General Standards

In-depth 40 Minutes Financial Crime For all staff

The Mortgage Conduct of Business (MCOB) for General Standards applies to all firms that deal with home finance.

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First Aid Awareness

In-depth 40 Minutes Health & Safety For all staff

Regardless of whether an injury or illness has been caused by work, it is important that employees receive immediate support.

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Treating Customers Fairly FCA Compliance

In-depth 40 Minutes For all staff

Treating Customers Fairly (TCF) applies to firms in the financial services industry.

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Complaints Handling FCA Compliance

In-depth 40 Minutes For all staff

The FCA has identified that the number of complaints submitted in the financial services sector has increased year on year in recent times in the UK.

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Preventing Sexual Harassment for Managers

In-depth 40 Minutes Preventing Harassment For managers

The new duty to prevent sexual harassment in the UK will be enforceable by employment tribunals, allowing for increased compensation for victims by up to 25% if an employer fails in their duty.

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Financial Crime Prevention E-Learning Course for Staff

In-depth 40 Minutes Financial Crime For all staff

There are two kinds of financial crime.

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CASS Overview for Insurance

In-depth 35 Minutes For all staff

The FCA's Client Assets Sourcebook (CASS) supports Principle 10 of the FCA's Principles for Businesses.

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Directive on Administrative Cooperation in the Field of Taxation (DAC6)

In-depth 35 Minutes For all staff

The EU Directive on Administrative Cooperation in the Field of Taxation (DAC6) covers cross-border arrangements.

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Prudential Regulation for Insurance Firms

In-depth 35 Minutes For all staff

Educate your employees on the Prudential Standards for financial businesses in the UK.

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Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation for Insurance Firms

In-depth 35 Minutes For all staff

The Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation has applied since 1 January 2018.

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Claims Handling - General Insurance

In-depth 35 Minutes For all staff

Speed and accuracy of claims handling is a major aspect of service differentiation in this industry.

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Whistleblowing for Managers (FS)

In-depth 35 Minutes Financial Crime For managers

Whistleblowing refers to disclosing corrupt, illegal or fraudulent activities committed by organisations.

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Conflicts of Interest in Insurance

In-depth 35 Minutes For all staff

A conflict of interest is where competing interests interfere with the exercising of judgement in a relationship.

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CASS Overview

In-depth 35 Minutes For all staff

The FCA's Client Assets Sourcebook (CASS) supports Principle 10 of the FCA's Principles for Businesses.

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Fraud Prevention E-learning Course

In-depth 35 Minutes Fraud Prevention For all staff

Fraud can have grave consequences for companies, employees, and customers.

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Information Security Compliance Training Course

In-depth 35 Minutes DORA For all staff

The security of client and internal information is critical for businesses.

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CASS 15 - Payment Services and Electronic Money: Relevant Funds

In-depth 30 Minutes For all staff

CASS 15 introduces a strengthened safeguarding regime for payment services and electronic money firms, designed to better protect customer funds in the event of firm failure.

Good Outcomes for Vulnerable Customers

In-depth 30 Minutes For all staff

Companies have a legal obligation to ensure that vulnerable individuals do not suffer any detriment and are given the appropriate level of care.

Overview of the Consumer Duty

In-depth 30 Minutes For all staff

Learn about the FCA's Principle 12 and the rules that flow from it, and see how you can apply Consumer Duty in your day-to-day work.

Training and Competence

In-depth 30 Minutes For all staff

Educate your employees on the FCA's rules for training and competence of staff in the financial services business.

Understanding Failure to Prevent Fraud (FTPF) in Financial Services

In-depth 30 Minutes Failure to Prevent Fraud Fraud Prevention For all staff

Failure to Prevent Fraud (FTPF) is a corporate offence that holds organisations criminally liable if they do not have reasonable measures in place to stop fraud committed by someone acting on their behalf.

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Understanding Failure to Prevent Fraud (FTPF)

In-depth 30 Minutes Failure to Prevent Fraud Fraud Prevention For all staff

Learn how the Failure to Prevent Fraud offence works, what it means for our Company, and how you can help reduce risk by recognising fraud and supporting prevention procedures.

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UCITS

In-depth 30 Minutes For all staff

Undertakings for the Collective Investment in Transferable Securities (UCITS) Directive aims to offer asset managers and investors greater business opportunities.

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Sustainability Disclosure Requirements (SDR) and Investment Labels

In-depth 30 Minutes For all staff

The introduction of sustainability rules aims to enhance the transparency and credibility of financial products with sustainability objectives.

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Using AI at Work

In-depth 30 Minutes Cybersecurity For all staff

Companies are committed to ensuring the ethical and responsible use of AI technologies.

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Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation

In-depth 30 Minutes For all staff

The Packaged Retail and Insurance-based Investment Product (PRIIP) Regulation affects retail investors who need to understand the complexities of these products.

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Mortgage Credit Directive

In-depth 30 Minutes For all staff

The EU Mortgage Credit Directive (MCD) applies to all businesses dealing with first-charge, second-charge, and buy-to-let mortgages.

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MCOB - Financial Promotions

In-depth 30 Minutes For all staff

The Mortgage Conduct of Business (MCOB) for Financial Promotions applies to financial promotions in the home finance business.

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MCOB - Disclosures

In-depth 30 Minutes For all staff

The Mortgage Conduct of Business (MCOB) for Disclosures applies to businesses involved in home finance transactions.

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Insurance Act 2015

In-depth 30 Minutes For all staff

The Insurance Act 2015 represents the most significant reform of insurance contract law in the UK for over a century.

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Fire Warden Training

In-depth 30 Minutes Health & Safety For all staff

Gain a comprehensive understanding of your role as a fire warden, which encompasses not only how to respond effectively in the event of a fire but also proactive measures to prevent such incidents from occurring.

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CASS 8 - Mandates

In-depth 30 Minutes For all staff

Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them.

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CASS 6 - Custody Rules

In-depth 30 Minutes For all staff

The rules and guidance in CASS 6 apply to a firm when it is safeguarding and administering custody assets.

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An Introduction to Solvency UK

In-depth 30 Minutes For all staff

Solvency II introduced a new, harmonised EU-wide insurance regulatory regime.

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Conduct Rules for Non-Executive Directors (NEDs)

In-depth 30 Minutes SMCR For managers

NEDs are an important part of a firm's governance and provide independence and oversight.

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Contract Certainty

In-depth 30 Minutes For all staff

Contract certainty means that each party will know the exact details of a product at the time when it is being sold, without there being any misunderstandings at a later date It was developed in response to regulatory concerns about the 'deals now – details later' culture of the insurance industry.

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MCOB - APRC, Shortfalls and Charges

In-depth 30 Minutes Financial Crime For all staff

The Mortgage Conduct of Business (MCOB) for the Annual Percentage Rate of Charge (APRC), shortfalls, and charges apply to home finance businesses.

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Training and Competence

In-depth 30 Minutes Financial Crime For all staff

Training and Competence (T&C) forms an important part of UK regulations under the FCA.

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Conflicts of Interest in Asset Management

In-depth 30 Minutes For all staff

The FCA outlines its expectations that asset management firms establish and maintain an effective framework to identify, control and review conflicts of interest.

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Overview of the Consumer Duty

In-depth 30 Minutes For all staff

The FCA's Consumer Duty is a new standard which addresses the conduct of firms.

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Good Outcomes for Vulnerable Customers

In-depth 30 Minutes For all staff

Companies have a legal obligation to identify the signs of vulnerability and ensure that vulnerable individuals are treated fairly.

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Bribery Prevention Compliance E-learning Course

In-depth 30 Minutes Bribery Prevention For all staff

Despite a worldwide effort to eradicate bribery, it is still prevalent in many countries and presents a real risk for businesses.

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Preventing the Facilitation of Tax Evasion

In-depth 30 Minutes For all staff

Tax laws don't only apply to those who calculate or manage taxes.

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Modern Slavery Compliance Training Course

In-depth 30 Minutes ESG For all staff

Modern slavery is a serious crime with harsh penalties.

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Anti-Money Laundering and Counter-Terrorist Financing E-learning Course

In-depth 30 Minutes Financial Crime For all staff

To prevent criminal activity, nearly all countries in the world have committed themselves to extremely tough laws against money laundering and terrorist financing.

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Preventing Sexual Harassment Training Course

In-depth 30 Minutes Preventing Harassment For all staff

Companies rightly have a zero-tolerance policy for sexual harassment, and violations may lead not only to disciplinary action but also to perpetrator prosecution.

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CASS 9 - Information to Clients

In-depth 25 Minutes For all staff

Under the requirements of CASS 9, you are required to pass on certain information to clients, particularly where prime brokers, custody assets and client money are concerned.

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs)

In-depth 25 Minutes For all staff

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs) exist as part of the US response to the financial crisis.

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Lone Working

In-depth 25 Minutes Health & Safety For all staff

Lone working offers greater flexibility, autonomy and creates a broader talent pool for businesses.

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CASS 9 - Information to Clients

In-depth 25 Minutes For all staff

Under the requirements of CASS 9, you are required to pass on certain information to clients, particularly where prime brokers, custody assets and client money are concerned.

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CASS 10 - CASS Resolution Pack

In-depth 25 Minutes For all staff

A CASS Resolution Pack (RP) contains a specific set of documents that helps speed up client money and assets return if a firm fails.

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Breathing Space Regulations

In-depth 25 Minutes For all staff

Breathing Space Regulations apply to creditors whose debtors are eligible for additional time to repay their debt.

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Asbestos

In-depth 25 Minutes Health & Safety For all staff

Educate your staff on the risks posed by asbestos, the controls your Company has in place, and what you should do to manage these risks and stay safe.

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AIFM Regulations

In-depth 25 Minutes For all staff

The Alternative Investment Fund Managers Directive (AIFMD) was developed by the EU in order to create a harmonised framework of rules for regulating AIFMs.

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CASS 5 - Client Money - Insurance Distribution Activity

In-depth 25 Minutes For all staff

CASS rules apply to money belonging to all clients.

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General Insurance Pricing Practices

In-depth 25 Minutes For all staff

The General Insurance Pricing Practices signal a new chapter in the FCA's focus on fairly-priced insurance products which provide real value to customers.

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ICOBS - Providing Information and Advising

In-depth 25 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for Providing Information and Advising applies to insurance intermediaries.

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Senior Management Arrangements Systems and Controls

In-depth 25 Minutes Financial Crime For managers

The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms.

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Payment Services Regulations

In-depth 25 Minutes Financial Crime For all staff

The Payment Services Regulations (PSRs) 2017 was introduced in 2018 and set the Payment Services Directive 2 (PSD2) in motion.

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BCOBS - General Standards

In-depth 25 Minutes Financial Crime For all staff

The FCA Banking Conduct of Business Sourcebook (BCOBS) applies to all firms that accept deposits from banking customers in the UK.

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Personal Conflicts of Interest

In-depth 25 Minutes For all staff

The FCA states that a firm must manage conflicts of interest between itself and its customers or other clients.

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Meeting the Conduct Rules in Dual Regulated Firms

In-depth 25 Minutes SMCR For all staff

The Conduct Rules are a fundamental aspect of the SMCR.

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Digital Operational Resilience Act (DORA)

In-depth 25 Minutes DORA For all staff

The Digital Operational Resilience Act (DORA) is a regulatory framework set by the European Union to enhance the cybersecurity and operational resilience of financial institutions.

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Principles for Businesses

In-depth 20 Minutes For all staff

The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.

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ICOBS - Providing Information and Advising

In-depth 20 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for Providing Information and Advising applies to insurance intermediaries.

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ICOBS - Distance Communications

In-depth 20 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.

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ICOBS - Cancellation and Claims

In-depth 20 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.

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COBS - Suitability

In-depth 20 Minutes For all staff

The FCA Conduct of Business Sourcebook (COBS) applies to finance and investment firms in the UK.

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COBS - Client Communications High Risk Investments

In-depth 20 Minutes For all staff

The Conduct of Business Sourcebook (COBS) rules that relate to client communication apply to all promotional communications that investment firms have with their clients and prospects.

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COBS - Appropriateness

In-depth 20 Minutes For all staff

The FCA's Conduct of Business Sourcebook (COBS) applies to financial firms that deal with customer investments on an execution-only basis.

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Appointed Representatives Regulatory Responsibilities for Insurance Firms

In-depth 20 Minutes For all staff

The FCA expects companies to ensure all their appointed representatives know the provisions within the FCA handbook.

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FSCS Deposit Protection

In-depth 20 Minutes Financial Crime For all staff

The Financial Services Compensation Scheme (FSCS) safeguards customers' finances.

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COBS - Dealing and Managing

In-depth 20 Minutes Financial Crime For all staff

The FCA Conduct of Business Sourcebook (COBS) applies to financial firms in the UK.

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COBS - Client Categorisation

In-depth 20 Minutes Financial Crime For all staff

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

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Whistleblowing in Insurance

In-depth 20 Minutes For all staff

Our Whistleblowing Training Course educates employees on reporting misconduct safely and ensures protection.

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COBS - Client Communications and Financial Promotions

In-depth 20 Minutes For all staff

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

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Principles for Businesses

In-depth 20 Minutes For all staff

The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.

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General Office Hygiene

In-depth 20 Minutes Health & Safety For all staff

Educate your staff on general office hygiene protocols to reduce common viruses and infections from spreading at the workplace.

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Records Management

In-depth 20 Minutes DORA For all staff

Records management refers to employees' creation, storage, archiving, and disposal of business records.

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ICOBS - General Matters

In-depth 20 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.

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Fire Safety Compliance E-Learning Course

In-depth 20 Minutes Health & Safety For all staff

Educate your staff on the fire safety controls your Company has in place and the measures they need to take to reduce the risk of fire where you work.

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Equality and Diversity E-learning Course

In-depth 20 Minutes DEI For all staff

Making employment decisions or treating people differently based on stereotypes isn't just bad for business; it's illegal.

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ICOBS - General Matters

In-depth 15 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.

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ICOBS - Distance Communications

In-depth 15 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.

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ICOBS - Cancellation and Claims

In-depth 15 Minutes For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.

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BCOBS - Distance Communications

In-depth 15 Minutes For all staff

The Banking Conduct of Business Sourcebook (BCOBS) applies to all firms accepting deposits from banking customers in the UK.

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Non-Financial Misconduct

Express 15 Minutes SMCR For all staff

Non-financial misconduct is behaviour that is unrelated to regulated activities, including serious offences such as harassment, bullying, sexual discrimination and sexual misconduct The FCA has indicated it is prepared to consider non-financial misconduct when assessing fitness and propriety.

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Whistleblowing in Financial Services

In-depth 15 Minutes For all staff

Our Whistleblowing training course educates employees on reporting misconduct safely and ensures protection.

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Mental Health at Work

In-depth 15 Minutes Health & Safety For all staff

Stress, anxiety and depression are serious health hazards in the workplace.

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Third-Party Harassment

Microlearning 5 Minutes For all staff

Third‑party harassment is unwanted behaviour by someone who is not an employee, such as a customer, supplier, contractor or visitor.

Conduct Rule 6: Act to deliver good outcomes for retail customers

Microlearning 5 Minutes For all staff

Financial services professionals must act in good faith, prevent foreseeable harm and support customers in achieving their financial objectives.

Conduct Rule 5: Observe proper standards of market conduct

Microlearning 5 Minutes For all staff

Financial markets rely on trust, integrity and adherence to established rules and ethical behaviour.

Conduct Rule 4: Pay due regard to the interests of customers and treat them fairly

Microlearning 5 Minutes For all staff

Financial services professionals must always act in the best interests of customers and ensure they are treated fairly.

Conduct Rule 3: Be open and cooperative with the FCA, the PRA and other regulators

Microlearning 5 Minutes For all staff

Financial services firms and employees must be open and cooperative with regulators, including the Financial Conduct Authority and the Prudential Regulation Authority.

Conduct Rule 2: Act with due skill, care and diligence

Microlearning 5 Minutes For all staff

People working in financial services must act with due skill, care and diligence, ensuring their actions do not harm customers or the financial system.

Conduct Rule 1: Act with Integrity

Microlearning 5 Minutes For all staff

Integrity is a fundamental principle in financial services, ensuring ethical conduct and maintaining customer trust.

Safeguarding for Charities and Trustees

Microlearning 5 Minutes For all staff

Safeguarding involves protecting people from harm, abuse and neglect.

Political Activity and Campaigning by Charities

Microlearning 5 Minutes For all staff

Charities in the UK can engage in political activity to support their purpose, provided it remains secondary to their charitable work and complies with legal and ethical guidelines.

Managing Conflicts of Interest in a Charity

Microlearning 5 Minutes For all staff

Conflicts of interest, whether actual or perceived, can harm a charity's decision-making and credibility.

Managing Charity Finances

Microlearning 5 Minutes For all staff

Managing charity finances requires spending responsibly, transparently and strictly for the charity's purpose.

Making Decisions at a Charity

Microlearning 5 Minutes For all staff

Charity decision-making must be guided by principles that ensure actions are within the charity's powers, aligned with its purpose and in its best interests.

Gifts and Hospitality for Charities

Microlearning 5 Minutes For all staff

Gifts and hospitality can pose a risk of actual or perceived bribery in the charity sector.

Data Protection for Charities

Microlearning 5 Minutes For all staff

Handling personal data is a critical responsibility for charities, governed by data protection laws and essential for maintaining trust.

Communicating with the Charity Commission

Microlearning 5 Minutes For all staff

Effective communication with the Charity Commission is essential for compliance, transparency and maintaining public trust.

Charity Purposes and Rules

Microlearning 5 Minutes For all staff

Charities in the UK must operate within their defined purposes as set out in their governing documents, ensuring all activities align with these objectives.

Anti-Bribery for Charities

Microlearning 5 Minutes For all staff

Bribery in the charity sector can take subtle and complex forms, from cash payments to promises of preferential treatment.

AML and CTF for Charities

Microlearning 5 Minutes For all staff

Charities can inadvertently become vehicles for money laundering and terrorist financing, threatening their integrity and compliance.

Failure to Prevent Fraud (FTPF): Prevention

Microlearning 5 Minutes Failure to Prevent Fraud Fraud Prevention For all staff

Understand the six principles of fraud prevention to design and support effective anti-fraud controls.

Failure to Prevent Fraud (FTPF): Scope

Microlearning 5 Minutes Failure to Prevent Fraud Fraud Prevention For all staff

Understand the scope of the Failure to Prevent Fraud offence and its implications for different types of companies.

Failure to Prevent Fraud (FTPF): Offence

Microlearning 5 Minutes Failure to Prevent Fraud Fraud Prevention For all staff

Understand the legal implications of the Failure to Prevent Fraud offence and how to ensure compliance in my role.

Failure to Prevent Fraud (FTPF): Types of Fraud

Microlearning 5 Minutes Failure to Prevent Fraud Fraud Prevention For all staff

Understand the various types of fraud that could lead to the Failure to Prevent Fraud offence and how to help prevent them in my role.

Protecting Intellectual Property Rights

Microlearning 5 Minutes For all staff

Intellectual property (IP) includes original creations such as artistic works, inventions, trademarks and trade secrets that can be owned, licensed or sold.

Understanding Tax Evasion

Microlearning 5 Minutes For all staff

Tax evasion is the illegal act of dishonestly reducing tax liability, while tax avoidance involves exploiting legal loopholes.

The 4D Bystander Intervention Model

Microlearning 5 Minutes Preventing Harassment For all staff

Creating a safe and respectful workplace requires everyone to take action when witnessing bullying harassment or inappropriate behaviour.

Unwanted Behaviour of a Sexual Nature

Microlearning 5 Minutes Preventing Harassment For all staff

Sexual harassment is unwanted behaviour of a sexual nature that can create an intimidating, degrading or hostile work environment.

Minimum Disclosure Rules

Microlearning 5 Minutes For all staff

The Common Reporting Standard was introduced to prevent offshore tax evasion, but authorities continue to find ways in which it is being circumvented.

The Three Characteristics of Harassment

Microlearning 5 Minutes Preventing Harassment For all staff

Harassment in the workplace occurs when unwanted behaviour violates a person's dignity or creates an intimidating or offensive environment.

Unlawful Disclosure of Inside Information

Microlearning 5 Minutes For all staff

Inside information is precise, non-public information about a financial instrument or issuer that could impact market prices if disclosed.

Persons Discharging Managerial Responsibilities

Microlearning 5 Minutes For all staff

Persons discharging managerial responsibilities are senior individuals in publicly traded organisations who have access to inside information.

Understanding Market Abuse

Microlearning 5 Minutes For all staff

Market abuse distorts financial markets and disadvantages investors.

Understanding Insider Trading

Microlearning 5 Minutes For all staff

Inside information can significantly impact financial markets and must be handled with strict confidentiality.

Understanding Inside Information

Microlearning 5 Minutes For all staff

Inside information is precise, non-public information about a financial instrument or issuer that could significantly impact market prices if disclosed.

Don't Deal with Inside Information

Microlearning 5 Minutes For all staff

Insider dealing occurs when someone uses non-public, price-sensitive information to gain an unfair advantage in financial markets.

Understanding Intellectual Property

Microlearning 5 Minutes For all staff

Intellectual property rights are exclusive rights that protect creators and inventors, allowing them to benefit commercially from their work.

New and Expectant Mothers at Work

Microlearning 5 Minutes Health & Safety For all staff

When an employee is pregnant or returning from maternity leave, certain legal rights and health considerations apply.

Mental Health at Work

Microlearning 5 Minutes Health & Safety For all staff

Stress, anxiety and depression are major workplace health risks, accounting for over half of work-related ill-health cases.

Menopause Awareness

Microlearning 5 Minutes Health & Safety For all staff

Menopause is a natural stage in life that can bring physical and emotional challenges and potentially affect work performance.

Working Safely

Microlearning 5 Minutes Health & Safety For all staff

Workplace accidents occur frequently, but many are preventable through awareness and proper safety measures.

Work Equipment

Microlearning 5 Minutes Health & Safety For all staff

Work equipment includes tools, machines and other devices used to perform tasks safely and efficiently.

Transport

Microlearning 5 Minutes Health & Safety For all staff

Work-related driving poses significant risks, contributing to a large percentage of road accidents.

Personal Protective Equipment

Microlearning 5 Minutes Health & Safety For all staff

Personal protective equipment is essential in minimising exposure to workplace hazards but should be the last line of defence.

Noise

Microlearning 5 Minutes Health & Safety For all staff

Prolonged or excessive noise can cause stress, hearing damage and other health risks.

Fire

Microlearning 5 Minutes Health & Safety For all staff

Fires pose a serious threat in any workplace, making fire prevention and safety measures essential.

Electricity

Microlearning 5 Minutes Health & Safety For all staff

Electricity is essential in the workplace, but even minor mistakes can cause serious injuries, fires or fatalities.

COSHH

Microlearning 5 Minutes Health & Safety For all staff

Exposure to hazardous substances in the workplace can cause serious health conditions, including respiratory diseases and skin disorders.

10 Steps to Healthy Working

Microlearning 5 Minutes Health & Safety For all staff

A fast-paced work environment can take a toll on physical and mental health if risks are not managed.

10 Essential Office Hygiene Practices

Microlearning 5 Minutes Health & Safety For all staff

Hygiene is a key factor in maintaining a clean, safe and healthy workplace.

The Fraud Triangle

Microlearning 5 Minutes Fraud Prevention For all staff

Fraud is often committed by ordinary people who find themselves in difficult situations and make poor choices.

Preventing Corporate Fraud

Microlearning 5 Minutes Fraud Prevention For all staff

Corporate fraud involves illegal activities committed by an organisation or individuals acting on its behalf.

Mandatory Leave

Microlearning 5 Minutes Fraud Prevention For all staff

Mandatory leave is time off that certain organisations enforce to help prevent fraud, errors and other risk incidents.

Fraud Offences and Penalties

Microlearning 5 Minutes Fraud Prevention For all staff

Fraud is any dishonest action or omission intended to gain or cause a loss, regardless of whether it is temporary or permanent.

Employee Fraud and Insider Threats

Microlearning 5 Minutes Fraud Prevention For all staff

Employee fraud can take many forms, from theft and false expense claims to data misuse and conflicts of interest.

Economic Crime and Corporate Transparency Act 2023

Microlearning 5 Minutes Fraud Prevention Failure to Prevent Fraud For all staff

The Economic Crime and Corporate Transparency Act 2023 expands corporate liability for fraud and financial crimes.

False Representation

Microlearning 5 Minutes Fraud Prevention For all staff

Fraud by false representation happens when someone deliberately provides misleading or untrue information for personal or financial gain.

Authorised Push Payment Fraud

Microlearning 5 Minutes Fraud Prevention For all staff

Authorised push payment fraud occurs when scammers impersonate trusted figures to trick individuals into transferring money.

Supplier Fraud

Microlearning 5 Minutes Fraud Prevention For all staff

Supplier fraud occurs when vendors engage in deceptive practices, such as false invoicing, overpricing or bribery.

Customer Fraud

Microlearning 5 Minutes Fraud Prevention For all staff

Customer fraud poses serious risks to businesses, from chargeback fraud to false complaints.

Unexplained Wealth Orders

Microlearning 5 Minutes Financial Crime For all staff

Unexplained wealth orders allow law enforcement to seize assets if their owners cannot justify their wealth as coming from a legitimate source.

Suspicious Activity Reporting

Microlearning 5 Minutes Financial Crime For all staff

Employees must report any knowledge or suspicion of money laundering or terrorist financing to the Money Laundering Reporting Officer.

Politically Exposed Persons

Microlearning 5 Minutes Financial Crime For all staff

Politically exposed persons present a high risk of money laundering due to their influence and access to state resources.

Enhanced Customer Due Diligence

Microlearning 5 Minutes Financial Crime For all staff

Bring "Enhanced Customer Due Diligence" training to life using animation characters and storylines.

Customer Due Diligence

Microlearning 5 Minutes Financial Crime For all staff

Bring "Customer Due Diligence" training to life using animation characters and storylines.

Understanding Terrorist Financing

Microlearning 5 Minutes Financial Crime For all staff

Terrorist groups rely on financial support from various sources, both intentional and unintentional.

Terrorist Financing Red Flags

Microlearning 5 Minutes Financial Crime For all staff

Terrorist groups use legal and illegal methods to raise and move funds, often exploiting financial systems to conceal their activities.

Screening Employees in Safeguarding Roles

Microlearning 5 Minutes ESG For all staff

The Safeguarding Vulnerable Groups Act protects children and vulnerable adults from harm by preventing unsuitable individuals from working with them.

Identifying Who is Vulnerable

Microlearning 5 Minutes ESG For all staff

Vulnerable individuals are those who face heightened risks of harm, abuse, neglect or exploitation due to various circumstances.

Understanding ESG

Microlearning 5 Minutes ESG For all staff

Companies are increasingly expected to integrate environmental, social and governance principles into their operations to attract investors.

Unconscious Bias

Microlearning 5 Minutes Preventing Harassment For all staff

Unconscious bias occurs when we make judgments about people based on past experiences, cultural influences or assumptions.

Stereotyping

Microlearning 5 Minutes For all staff

Stereotypes are generalised beliefs about individuals or groups that can lead to prejudice and bias.

Victimisation

Microlearning 5 Minutes For all staff

Victimisation occurs when someone is treated unfairly for making or supporting a complaint under the Equality Act.

The Protected Characteristics

Microlearning 5 Minutes Preventing Harassment For all staff

The UK's Equality Act protects individuals from discrimination based on nine protected characteristics, ensuring a fair and inclusive workplace.

Indirect Discrimination

Microlearning 5 Minutes For all staff

Indirect discrimination occurs when seemingly neutral policies disadvantage certain groups based on protected characteristics like age, sex, disability, race and religion.

Direct Discrimination

Microlearning 5 Minutes For all staff

Discrimination occurs when individuals are treated unfairly due to characteristics like sex, age, race or disability.

Risks in the Use of AI

Microlearning 5 Minutes Cybersecurity For all staff

This training highlights how AI can be used effectively while identifying and addressing potential risks.

Abuse of Dominant Position

Microlearning 5 Minutes For all staff

Companies with significant market power must compete fairly without distorting competition.

Dawn Raids

Microlearning 5 Minutes For all staff

A dawn raid is an unannounced investigation by a regulator or law enforcement agency, often related to suspected financial crimes or anti-competitive practices.

Tying and Bundling

Microlearning 5 Minutes For all staff

Tying and bundling involve selling a product or service with another commitment or package.

Resale Price Maintenance

Microlearning 5 Minutes For all staff

Resale price maintenance involves manufacturers controlling how retailers price their products.

Online Selling Restrictions

Microlearning 5 Minutes For all staff

Competition law ensures fair sales practices and prohibits restrictions that limit competition.

Vertical Agreements

Microlearning 5 Minutes For all staff

Vertical agreements between manufacturers, wholesalers and retailers can restrict competition and harm consumers.

Trade Association Red Flags

Microlearning 5 Minutes For all staff

Trade association meetings serve legitimate purposes but can pose competition risks if sensitive business information is exchanged.

Cartels

Microlearning 5 Minutes For all staff

Competition in a free market encourages businesses to innovate, improve quality and reduce prices for consumers.

Anti-Competitive Agreements

Microlearning 5 Minutes For all staff

Competition laws ensure fair business practices by preventing anti-competitive agreements that restrict market competition.

GDPR Subject Access Requests

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Individuals have the right to access their personal data and organisations must respond to subject access requests (SARs) within legal timeframes.

GDPR Individual Rights

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The General Data Protection Regulation (GDPR) grants individuals eight specific rights over their personal data, ensuring transparency and control.

GDPR International Transfers

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The international transfer of personal data is restricted to ensure individuals' privacy rights are protected when data is sent abroad.

GDPR Legitimate Interests

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Legitimate interests is a flexible lawful basis for processing personal data, but it requires balancing business needs with individuals' rights.

GDPR Lawful Bases for Processing

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The General Data Protection Regulation (GDPR) requires organisations to have a lawful basis for processing personal data, chosen from six legal grounds.

GDPR and Consent

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Consent is one of the six lawful bases for processing personal data under the GDPR, requiring individuals to give clear, informed and voluntary agreement.

GDPR Principle 7

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The seventh principle of the GDPR, accountability, requires organisations to take responsibility for compliance and demonstrate good governance in data protection.

GDPR Principle 6

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The sixth principle of the GDPR, integrity and confidentiality, requires that personal data be protected against unauthorised access, loss or damage.

GDPR Principle 5

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The fifth principle of the GDPR, storage limitation, requires that personal data be retained only for as long as necessary for its intended purpose.

GDPR Principle 4

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The fourth principle of the GDPR, accuracy, requires that personal data must be correct, up to date and not misleading.

GDPR Principle 3

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The third principle of the GDPR, data minimisation, requires that personal data collected must be adequate, relevant and limited to what is necessary.

GDPR Principle 2

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The second principle of the GDPR, purpose limitation, requires that personal data be collected for specified, explicit and legitimate purposes.

GDPR Principle 1

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The first principle of the GDPR requires that personal data must be processed lawfully, fairly and transparently.

Special Category Data

Microlearning 5 Minutes Data Protection (GDPR) For all staff

In many workplaces, sensitive data, including special category data, is collected and requires extra care.

Controllers and Processors

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The differences between data controllers and data processors are crucial to understanding data protection obligations.

Corrupt Hiring Practices

Microlearning 5 Minutes Bribery Prevention For all staff

Bribery risks in hiring arise when jobs or internships are offered in exchange for business favours or political influence.

Bribery Offences and Penalties

Microlearning 5 Minutes Bribery Prevention For all staff

Bribery is a serious offence that carries severe consequences for individuals and companies.

Neurodiversity Awareness

Microlearning 5 Minutes Health & Safety For all staff

Misunderstanding neurodiversity can leave employees unsupported and limit workplace potential.

Think Before You Click

Microlearning 5 Minutes Cybersecurity DORA For all staff

Clicking on malicious links or attachments is one of the most common ways cybercriminals infect IT systems with malware.

Guide to Secure Remote Working

Microlearning 5 Minutes Cybersecurity DORA For all staff

Remote work provides flexibility but also introduces cybersecurity risks that can compromise company data and systems.

CEO Fraud

Microlearning 5 Minutes Cybersecurity DORA For all staff

CEO fraud is a type of Business Email Compromise where cybercriminals impersonate executives to trick employees into making payments or sharing confidential information.

Advising Customers on Cybersecurity

Microlearning 5 Minutes Cybersecurity DORA For all staff

Cybersecurity is everyone's responsibility, including guiding customers to protect themselves from online threats.

Using Wi-Fi safely

Microlearning 5 Minutes Cybersecurity DORA For all staff

Wi-Fi connectivity offers convenience but also exposes devices and data to security risks if not properly managed.

Transferring Information Securely

Microlearning 5 Minutes Cybersecurity DORA For all staff

Securely transferring information is essential to protect sensitive data from breaches, legal risks and business disruptions.

Supply Chain Cybersecurity

Microlearning 5 Minutes Cybersecurity DORA For all staff

A company’s cybersecurity is only as strong as its weakest link and supply chain vulnerabilities can expose businesses to major breaches.

Secure Web Browsing

Microlearning 5 Minutes Cybersecurity DORA For all staff

Practicing safe web browsing helps to reduce security risks and protect sensitive information.

Tailgating and Piggybacking

Microlearning 5 Minutes Cybersecurity DORA For all staff

Cybersecurity is not just about digital protection but also involves securing physical access to critical systems.

Information Security on the Move

Microlearning 5 Minutes Cybersecurity DORA For all staff

Handling company information securely, especially when working remotely or traveling, is essential to prevent data breaches and security risks.

Information Classification

Microlearning 5 Minutes Cybersecurity DORA For all staff

This training helps employees understand different levels of information classification, their restrictions and how to handle data securely.

Reacting to Password Breaches

Microlearning 5 Minutes Cybersecurity DORA For all staff

Password breaches can lead to unauthorised access, fraud and data theft, often resulting from weak passwords, phishing or insecure networks.

Multi-factor Authentication

Microlearning 5 Minutes Cybersecurity DORA For all staff

Multi-factor authentication (MFA) enhances security by requiring users to verify their identity through multiple authentication methods.

Creating Strong Passwords

Microlearning 5 Minutes Cybersecurity DORA For all staff

Strong password protection is essential to safeguarding company systems from cyber threats such as brute force attacks and password guessing.

Vishing

Microlearning 5 Minutes Cybersecurity DORA For all staff

Vishing is a social engineering attack where cybercriminals use phone calls to trick individuals into revealing sensitive information.

Video Conferencing

Microlearning 5 Minutes Cybersecurity DORA For all staff

Video conferencing is a vital business tool, but it also presents security and privacy risks if not used correctly.

Spear Phishing

Microlearning 5 Minutes Cybersecurity DORA For all staff

Spear phishing targets specific individuals with convincing emails designed to deceive them.

Smishing

Microlearning 5 Minutes Cybersecurity DORA For all staff

Smishing is a targeted phishing scam that uses deceptive text messages to gain sensitive information.

Ransomware

Microlearning 5 Minutes Cybersecurity DORA For all staff

Ransomware is a type of malware that encrypts files and demands payment for their release, often causing severe financial and operational damage.

Malware

Microlearning 5 Minutes DORA Cybersecurity For all staff

Malware is malicious software designed to harm or exploit computer systems, ranging from viruses and ransomware to spyware and botnets.

Device Hygiene

Microlearning 5 Minutes DORA Cybersecurity For all staff

Device hygiene is the practice of keeping digital devices secure and free from cyber threats to protect company data and networks.

Bring Your Own Device Security

Microlearning 5 Minutes DORA Cybersecurity For all staff

Bring Your Own Device (BYOD) policies offer convenience and flexibility but also introduce cybersecurity risks.

Zero Trust Cybersecurity

Microlearning 5 Minutes Cybersecurity DORA For all staff

The zero trust cybersecurity model ensures IT systems remain inaccessible by default, requiring strict verification before granting access.

Data Protection Impact Assessments

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Data Protection Impact Assessments (DPIAs) are used to evaluate our data processing activities and mitigate risks to individuals.

Understanding Facilitation Payments

Microlearning 5 Minutes Bribery Prevention For all staff

Facilitation payments are small, unofficial payments made to speed up routine services, but they are considered bribes under anti-bribery and corruption laws.

Understanding Sexual Harassment

Microlearning 5 Minutes Preventing Harassment For all staff

Sexual harassment is unwanted behaviour of a sexual nature that violates a person’s dignity or creates an intimidating, hostile or offensive environment.

Personal Data Breaches

Microlearning 5 Minutes Data Protection (GDPR) For all staff

Personal data breaches can occur through hacking, human error or unauthorised access, leading to serious legal and reputational consequences.

Understanding the GDPR

Microlearning 5 Minutes Data Protection (GDPR) For all staff

The General Data Protection Regulation (GDPR) sets out key principles for handling personal data and protecting individuals' rights.

Preventing Tipping Off

Microlearning 5 Minutes Financial Crime For all staff

Tipping off is a criminal offence that occurs when someone under investigation for financial crime is made aware of the suspicion against them.

Common Cyber Threats

Microlearning 5 Minutes Cybersecurity DORA For all staff

Cyber threats such as phishing, malware, ransomware and unsecured networks pose significant risks to businesses.

The Three Stages of Money Laundering

Microlearning 5 Minutes Financial Crime For all staff

Money laundering is the process criminals use to disguise illicit funds as legitimate income through placement, layering and integration.

Understanding Information Security

Microlearning 5 Minutes Cybersecurity DORA For all staff

Information security is essential to protect sensitive business and customer data from unauthorised access, breaches and cyber threats.

Horizontal Agreements

Microlearning 5 Minutes For all staff

Competition drives innovation, fair pricing and better services for customers.

Deepfake Awareness

Microlearning 5 Minutes Cybersecurity DORA For all staff

Deepfakes use artificial intelligence to create fake images, audio or videos that can deceive individuals and organisations.

Interacting on Social Media

Microlearning 5 Minutes ESG For all staff

Social media offers great opportunities for communication, but it also presents risks to data protection, security and reputation.

Forced Labour Indicators

Microlearning 5 Minutes ESG For all staff

Forced labour is a serious violation of human rights, often hidden within workplaces and supply chains.

Understanding Harassment

Microlearning 5 Minutes Preventing Harassment For all staff

Harassment is unwanted conduct that violates a person’s dignity or creates an intimidating or offensive environment.

Crossing the Line into Sexual Harassment

Microlearning 5 Minutes Preventing Harassment For all staff

Sexual harassment is not limited to physical actions but can also involve words, gestures and persistent unwanted attention.

Targets of Sexual Harassment

Microlearning 5 Minutes Preventing Harassment For all staff

Sexual harassment can occur in various forms and affects everyone in the workplace.

Failing to Disclose Information

Microlearning 5 Minutes Fraud Prevention For all staff

Fraud can occur when someone deliberately withholds information to gain an unfair advantage or cause loss to others.

Compliments vs Sexual Harassment

Microlearning 5 Minutes Preventing Harassment For all staff

Genuine compliments can be part of a positive workplace, but inappropriate remarks can cross the line into sexual harassment.

Foreign Agent Bribery Risk

Microlearning 5 Minutes Bribery Prevention For all staff

Operational risk in financial services arises from internal process failures, people, systems or external events.

Understanding Conflicts of Interest

Microlearning 5 Minutes ESG For all staff

A conflict of interest is where competing interests interfere with the exercising of judgement in a relationship.

Manual Handling

Microlearning 5 Minutes Health & Safety For all staff

Manual handling tasks, such as lifting, carrying, pushing or pulling objects, can lead to injuries if not done correctly.

Slips and Trips

Microlearning 5 Minutes Health & Safety For all staff

Slips and trips are among the most common causes of workplace injuries, often resulting in serious harm such as fractures or concussions.

Identity Fraud

Microlearning 5 Minutes Fraud Prevention For all staff

Identity fraud occurs when criminals steal personal information to commit fraud, often leading to financial loss and reputational damage.

Display Screen Equipment

Microlearning 5 Minutes Health & Safety For all staff

Correctly setting up display screen equipment (DSE) is crucial for maintaining comfort and preventing strain or injury.

Understanding Fraud

Microlearning 5 Minutes Fraud Prevention For all staff

Fraud is a deliberate act of deception aimed at obtaining an unfair advantage, often causing harm to individuals or organisations.

Speak Up

Microlearning 5 Minutes For all staff

Speaking up against misconduct or unethical behaviour can be challenging, but it is essential to maintaining integrity in the workplace.

Business Email Compromise

Microlearning 5 Minutes Cybersecurity DORA For all staff

Business Email Compromise (BEC) is a targeted cyberattack where criminals impersonate executives or hack accounts to steal money or sensitive information.

Money Laundering Red Flags

Microlearning 5 Minutes Financial Crime For all staff

Detecting and reporting money laundering red flags is essential for maintaining anti-money laundering (AML) compliance.

Understanding Sanctions

Microlearning 5 Minutes Financial Crime For all staff

Sanctions restrict business dealings with specific individuals organisations or countries to support global peace, human rights and crime prevention.

Whistleblowing

Microlearning 5 Minutes For all staff

Whistleblowing is the act of reporting wrongdoing such as fraud, bribery or safety breaches to protect an organisation and its stakeholders.

Abuse of Position

Microlearning 5 Minutes Fraud Prevention For all staff

Fraud by abuse of position occurs when someone in a position of trust dishonestly exploits their role for personal gain or to cause loss to others.

Spot a Phishing Attempt

Microlearning 5 Minutes Cybersecurity DORA For all staff

Phishing emails are fraudulent attempts by cybercriminals to trick individuals into revealing sensitive information.

Gifts and Hospitality

Microlearning 5 Minutes Bribery Prevention For all staff

Gifts and hospitality can create a risk of actual or perceived bribery if not handled correctly.

Understanding Bribery

Microlearning 5 Minutes Bribery Prevention For all staff

Bribery is not always obvious and can take many subtle forms, from lavish gifts to preferential treatment.

Understanding Modern Slavery

Microlearning 5 Minutes ESG For all staff

Modern slavery remains a persistent, inhumane practice affecting millions through forced labour, trafficking and exploitation.

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SM&CR in Practice

CeMAP Competency Refresher Training

UK Money Markets Code Online Training Course

Responsible Lending and Affordability Training Course

FX Global Code Compliance Training Course

Conduct Rules for Senior Managers at FCA Solo Firms

Operational Resilience

Conduct Risk

CASS 7 and 7A Client Money Rules and Client Money Distribution Training Course

Introduction to UK Financial Regulation

Prudential Regulation Training Course for Financial Services Staff

MCOB - Advertising and Selling Compliance Training Course

Benchmarks Regulation Training Course

Information Barriers

Treating Customers Fairly

Insurance Distribution Directive (IDD)

Complaints Handling E-learning for the Insurance Sector

Introduction to UK Financial Regulation

Safeguarding the Vulnerable

Embargoes and Sanctions

Healthy Working

Financial Sanctions Compliance E-Learning Course

Working Safely Compliance Training Course

Market Abuse Compliance E-Learning Course

Data Protection Compliance Training Course

Pensions Ombudsman Complaints Handling

MCOB - Equity Release

Complaints Handling for the Mortgage Market Course

Markets in Financial Instruments Directive II (MiFID II)

CONC - Consumer Credit Regulations

Ethical Standards in Insurance and Investment Compliance E-Learning

MCOB - General Standards

First Aid Awareness

Treating Customers Fairly FCA Compliance

Complaints Handling FCA Compliance

Preventing Sexual Harassment for Managers

Financial Crime Prevention E-Learning Course for Staff

CASS Overview for Insurance

Directive on Administrative Cooperation in the Field of Taxation (DAC6)

Prudential Regulation for Insurance Firms

Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation for Insurance Firms

Claims Handling - General Insurance

Whistleblowing for Managers (FS)

Conflicts of Interest in Insurance

CASS Overview

Fraud Prevention E-learning Course

Information Security Compliance Training Course

CASS 15 - Payment Services and Electronic Money: Relevant Funds

Good Outcomes for Vulnerable Customers

Overview of the Consumer Duty

Training and Competence

Understanding Failure to Prevent Fraud (FTPF) in Financial Services

Understanding Failure to Prevent Fraud (FTPF)

UCITS

Sustainability Disclosure Requirements (SDR) and Investment Labels

Using AI at Work

Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation

Mortgage Credit Directive

MCOB - Financial Promotions

MCOB - Disclosures

Insurance Act 2015

Fire Warden Training

CASS 8 - Mandates

CASS 6 - Custody Rules

An Introduction to Solvency UK

Conduct Rules for Non-Executive Directors (NEDs)

Contract Certainty

MCOB - APRC, Shortfalls and Charges

Training and Competence

Conflicts of Interest in Asset Management

Overview of the Consumer Duty

Good Outcomes for Vulnerable Customers

Bribery Prevention Compliance E-learning Course

Preventing the Facilitation of Tax Evasion

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